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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2016-04-06 |
| FL | RA | APPROVED | 2010-04-16 |
| CT | RA | APPROVED | 2008-02-20 |
| DC | RA | APPROVED | 2007-03-20 |
| MD | RA | APPROVED | 2006-09-18 |
| VA | RA | APPROVED | 2006-09-18 |
| TX | RA | APPROVED | 2006-09-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bradenton | FL | 03/2006 | Present |
| Bank Of America, N.A. | Bradenton | FL | 05/2025 | Present |
I*127688For profit or not for profit: Non-Profit OrganizationName of outside business organization: Cleveland Pops OrchestraInvestment related: NAddress of business:Beachwood, Ohio 44122Nature of business: Charitable Organization,Position, title, association: , Start date of relationship: 10/19/2019Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 2Duties: Not-for-profit Pops Orchestra. Will be on the Board and will be selecting a committee to participate on - my expectation will be fundraising and marketing. Will NOT be on the finance committee. I*2591300, Entity Type: , Name of OBA: The Alinari Condominium, Address: Sarasota, Florida, 34326, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 08/01/2025, No Hours: 3 Monthly, No Hours during Trading: 0 Monthly, Duties: Board Member - I have been asked to run for he board, it decide policy for the Condo and make management decisions for the property / condo association. It is the Board for the Condo I live in and I have been asked to consider joining.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-09-08 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-27 |
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